Tag: FINRA

“Marking The Close” – A Prohibited Practice

“Marking The Close” is a technique of purchasing a security at the very end of the trading day — often within minutes of the...

“Stock Analyzer” Marketing Led to Securities Violation

A Florida securities firm owner operated two websites through which he offered by subscription a “stock analyzer” touted as utilizing mathematical algorithms to identify...

Broken Engagement? SEC uses data against advisers

Much hype has surrounded the outreach efforts of the Securities and Exchange Commission (SEC) to “engage” the private fund industry. The campaign supposedly is...

Failure to Supervise Branch Leads to Sanctions

An Ohio securities firm has been fined and its owner-president suspended over findings by the Financial Industry Regulatory Authority, Inc. (FINRA) of inadequate branch...

Enhanced Investor Protection? It’s In The Cards

The Financial Industry Regulatory Authority (FINRA) has issued a regulatory notice requesting comment on a proposed rule to implement the Comprehensive Automated Risk Data...

MSRB Confabs with SEC and FINRA

The Municipal Securities Rulemaking Board (MSRB) is a congressionally chartered regulatory organization governed by a 21-member board of directors and is subject to oversight...

Frontier Funds – Not Just Another Emerging Market

Returns versus risk is a dichotomous relationship that we just can’t seem to get away from. While it is true that the relationship exists...

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